Optimizing and Integrating Open Access Mandates Stevan Harnad UQAM & U Southampton U Minho 15 December 2008

Collaborators: Brody, Tim (U. Southampton, Eprints) Carr, Les (U. Southampton, EPrints) Gargouri, Yassine (U. Québec/Montréal) Gingras, Yves (U. Québec/Montréal) Hajjem, Chawki (U. Québec/Montréal) Hitchcock, Steve (U. Southampton, EPrints) Sale, Arthur (U. Tasmania) Swan, Alma (U. Southampton, EPrints, Key Perspectives)

What is Open Access (OA)? Free online access to refereed research articles U Minho 15 December 2008

Open Access to What? ESSENTIAL: to all 2.5 million annual research articles published in all 25,000 peer-reviewed journals (and peer-reviewed conferences) in all scholarly and scientific disciplines, worldwide OPTIONAL: (because these are not all author give-aways, written only for usage and impact): 1. Books 2. Textbooks 3. Magazine articles 4. Newspaper articles 5. Music 6. Video 7. Software 8. “Knowledge” (or because author’s choice to self-archive can only be encouraged, not required in all cases): 9. Data 10. Unrefereed Preprints FSFS Kerala 2008

Open Access (OA) Free/Open Software (fs) Open Data (od) Creative Commons Licensing (cc) Wikipedia (wp) The Commonalities and Distinctions (1) Exception-Free Creator Give-Away? OA wp (2) Peer-Revewed? OA (3) Published? OA (4) Publicly Funded? (OA) (od) (5) Copyright Barrier? (OA) (od) (6) Access to code? OA fs od cc wp (7) Modifying/Remixing/"re-using" code? fs od cc wp (8) Republishing Code? fs od cc wp FSFS Kerala 2008

There are two ways to provide OA: Green OA Self-Archiving: Authors self-archive the articles they publish in the 25,000 peer-reviewed journals Gold OA Publishing: authors publish in one of the c OA NB: This presentation is exclusively about providing Green OA, through university policy reform (by mandating Green OA Self-Archiving). It is not about Gold OA Publishing, which is in the hands of the publishing community, not the university community. (Green OA may or may not eventually lead to Gold OA, but it will lead with certainty to OA.) U Minho 15 December 2008

Why OA? OA maximizes research progress: uptake, usage, applications and impact Direct benefit of OA: research progress Side-Benefits of OA: developing world access, student access, public access U Minho 15 December 2008

How to provide (Green) OA? 1.Self-archive in Institutional Repository 2.Universities and Funders Mandate Self-Archiving U Minho 15 December 2008

Refereed “Post-Print” Accepted, Certified, Published by Journal Impact cycle begins: Research is done Researchers write pre-refereeing “Pre-Print” Submitted to Journal Pre-Print reviewed by Peer Experts – “Peer- Review” Pre-Print revised by article’s Authors Researchers can access the Post-Print if their university has a subscription to the Journal Months New impact cycles: New research builds on existing research U Minho 15 December 2008

Refereed “Post-Print” Accepted, Certified, Published by Journal Impact cycle begins: Research is done Researchers write pre-refereeing “Pre-Print” Submitted to Journal Pre-Print reviewed by Peer Experts – “Peer- Review” Pre-Print revised by article’s Authors Researchers can access the Post-Print if their university has a subscription to the Journal Months New impact cycles: New research builds on existing research This limited subscription-based access can be supplemented by self- archiving the Postprint in the author’s own institutional repository as follows: U Minho 15 December 2008

New impact cycles: New research builds on existing research Researchers can access the Post-Print if their university has a subscription to the Journal Refereed “Post-Print” Accepted, Certified, Published by Journal Impact cycle begins: Research is done Researchers write pre-refereeing “Pre-Print” Submitted to Journal Pre-Print reviewed by Peer Experts – “Peer-Review” Pre-Print revised by article’s Authors Post-Print is self-archived in University’s Eprint Archive Months More impact cycles: U Minho 15 December 2008

Brody, T., Harnad, S. and Carr, L. (2006) Earlier Web Usage Statistics as Predictors of Later Citation Impact. Journal of the American Association for Information Science and Technology (JASIST) 57(8): Data from arXiv Downloads (“hits”) in the first 6 months correlate with citations 2 years later Most articles are not cited at all Usage Advantage + Early Advantage: OA Articles are Downloaded more and early downloads lead to later citations U Minho 15 December 2008

(Competitive Advantage): The earlier you mandate Green OA, the sooner (and bigger) your university's competitive advantage: U. Southampton School of Electronics and Computer Science was the first in the world to adopt an OA self-archiving mandate. (Competitive Advantage vanishes at 100% OA.) U Minho 15 December 2008

Southampton created the free EPrints software to allow all universities to create their own institutional repositories very cheaply and easily.

But creating institutional repositories is only a necessary condition, not a sufficient condition, for providing 100% Open Access:

Only about 15% of institutional research output is being self- archived spontaneously today.

A Successful Repository: Why? Deposit Growth since 2003 U. Southampton ECS Repository U Minho 15 December 2008

The world’s c. 15,000 research universities and institutions produce all research output, in all disciplines, funded and unfunded World’s first Green OA Mandate: University of Southampton School of Electronics and Computer Science (UK 2003) World’s first University-Wide Green OA Mandate: Queensland University of Technology (Australia Feb 2004) Europe’s First Green OA Mandate: University of Minho (Portugal Dec 2004) U Minho 15 December 2008

Alma Swan’s international surveys of researchers in all disciplines have already found that 95% of researchers would comply with a self-archiving mandate:

OA Mandates: Across all countries and disciplines, 95% of researchers report that they would comply with a self-archiving mandate from their funders and/or institutions, and over 80% report that they would do so willingly. -- But only 15% self-archive spontaneously, if it not mandated. U Minho 15 December 2008

Arthur Sale’s comparisons of the self- archiving percentage of institutions with Repositories only (R -I -M) Repositories plus Incentives (R +I -M) Repositories plus Incentives plus a self-archiving Mandate (R+I+M) show that Repositories and Incentives alone are insufficient: Only with Mandates are they successful in attaining 100% self- archiving.

Data courtesy of Arthur Sale University of Tasmania +Repository -Incentive -Mandate Green line: total annual output Red line: proportion self-archived U Minho 15 December 2008

University of Queensland +Repository +Incentive -Mandate Green line: total annual output Red line: proportion self-archived Data courtesy of Arthur Sale U Minho 15 December 2008

Queensland University of Technology +Repository +Incentive +Mandate Green line: total annual output Red line: proportion self-archived Data courtesy of Arthur Sale U Minho 15 December 2008

Sale, Arthur (2006) Researchers and institutional repositories, in Jacobs, Neil, Eds. Open Access: Key Strategic, Technical and Economic Aspects Chandos Publishing (Oxford) Limited. Sale, A. The Impact of Mandatory Policies on ETD Acquisition. D-Lib Magazine April 2006, 12(4). Sale, A. Comparison of content policies for institutional repositories in Australia. First Monday, 11(4), April Sale, A. The acquisition of open access research articles. First Monday, 11(9), October Sale, A. (2007) The Patchwork Mandate D-Lib Magazine 13 1/2 January/February

Many Repositories but few deposits because deposit mandates are still few: 15% of annual 2.5 million articles U. Minho 15 Dec 2008

Why only 15%? The majority of journals (63%) already endorse immediate Green Open Access Self-Archiving ROMEO/EPRINTS (Directory of Journal Policies on author OA Self- Archiving):

What About Copyright? Mandate ID/OA: Immediate Deposit, Optional Access: All articles must be deposited immediately upon acceptance for publication. Publishers have no say over institution-internal record-keeping. Embargoed articles can be made Closed Access instead of Open Access. 63% of journals are Green (already endorse immediate OA) ROMEO/EPRINTS (Directory of Journal Policies on author OA Self-Archiving): U Minho 15 December 2008

For the articles in the 37% of journals that have an embargo policy, the free EPrints institutional Repository-creating software has an ” Eprint Request" Button: The user who reaches the metadata for a Closed Access article puts his in a box and clicks. This sends an automatic to the author, with a URL on which the author clicks to automatically the eprint to the requester. U Minho 15 December 2008

Metrics: Metrics of research usage and impact quantify, evaluate, navigate, propagate and reward the fruits of OA self-archiving, motivating Green OA Mandates. Mandates: Incentivized by the Metrics, Green OA self- archiving Mandates, adopted by all universities and research funding agencies, will provide OA to 100% of research output, maximizing research usage and impact, productivity and progress. Brody et al (2007) Incentivizing the Open Access Research Web: Publication-, Data-Archiving and Scientometrics. CTWatch Quarterly 3(3). Open Access: How? By mandating Green OA Self-Archiving OA Metrics motivate OA Mandates And OA Mandates maximize OA Metrics

Research Assessment, Research Funding, and Citation Impact “Correlation between RAE ratings and mean departmental citations (1996) (2001) (Psychology)” “RAE and citation counting measure broadly the same thing” “Citation counting is both more cost- effective and more transparent” (Eysenck & Smith 2002)

Sample of candidate OA-era metrics: Citations (C) CiteRank (like Google) Co-citations Downloads (D) C/D Correlations Hub/Authority index Chronometrics: Latency/Longevity Endogamy/Exogamy Book citation index Links Tags Commentaries Journal Impact Factor h-index (and variants) Co-authorships Publication counts Number of publishing years Semiometrics (latent semantic indexing, text overlap, etc.) Research funding Students Prizes

U Minho 15 December 2008

Stronger vs Weaker OA Mandates ID/OA is the Default Compromise Mandate for Fast, Sure Consensus ID/OA Moots All Copyright Issues ID/OA is a Keystroke Mandate Only Keystrokes Stand Between Us and 100% OA U Minho 15 December 2008 ID/OA provides immediate 63% OA + 37% Almost OA No Constraint on Author Choice of Journals No Deposit Embargoes: Immediate Deposit No Author Opt-Out

Optimising OA Mandates: 1 strong, optimal and weak Copyright Reservation +opt-out -opt-out ID/IA: Immediate-Deposit/Immediate-Access +opt-out -opt-out ID/DA: Immediate-Deposit/Delayed-Access +embargo-cap (-embargo-cap) ID/OA/: Immediate-Deposit/Optional-Access DD/DA: Delayed-Deposit/Delayed-Access +embargo-cap -embargo-cap U Minho 15 December 2008

Optimizing OA Mandates: 2 What? Where? When? Why? How? How OA? Deposit refereed research articles Why OA? To maximise access, usage, uptake, applications, impact, productivity, progress Deposit What? author's final refereed draft Deposit Where? Institutional Repository Deposit When? Immediately upon acceptance for publication U Minho 15 December 2008

Optimizing OA Mandates: 3 Integrating Institutional and Funder Mandates Institutions are the Universal Providers: –All Research –In All Disciplines –Funded and Unfunded Institutional and Funder Mandates can be: –Divergent and Competitive or –Convergent and Collaborative Deposit Institutionally, Harvest Centrally OAI and SWORD Protocols for authomatic harvest and import/export U Minho 15 December 2008

Copyright Reform (and Gold OA) will follow Universal Green OA Universal Green OA needs to be mandated Mandates need to be successfully adopted globally ID/OA is the weakest OA mandate, hence the easiest to reach consensus on adopting ID/OA moots all copyright concerns Copyright Reform should not be made a precondition for mandating OA U Minho 15 December 2008

I. Don’t Ape Harvard Policy Slavishly! Harvard’s Copyright Reservation Institutional Mandate Model (with opt-out) vs ID/OA (Immediate Deposit/Optional Access) Institutional Mandate Model (no opt-out) U Minho 15 December 2008

II. Don’t Ape NIH Policy Slavishly! NIH’s (PubMed) Central Deposit Funder Mandate Model vs Deposit Institutionally: Harvest Centrally Funder Mandate Model U Minho 15 December 2008

Time to Awaken the Sleeping Giant The world’s c. 15,000 research universities and institutions produce all research output, in all disciplines, funded and unfunded World’s first Green OA Mandate: University of Southampton School of Electronics and Computer Science (UK 2003) World’s first University-Wide Green OA Mandate: Queensland University of Technology (Australia 2004) Europe’s First Green OA Mandate: University of Minho (Portugal 2004) Time to integrate funder and institution mandates: Deposit Institutionally (ID/OA + Button) and Harvest Centrally U Minho 15 December 2008

Time to Awaken the Sleeping Giant ysignup/ U Minho 15 December 2008 ROARMAP:

Open Access: How? Universities and Funders both adopt the ID/OA mandate: Immediate Deposit + Optional Access + U Minho 15 December 2008

Author’s URLs (UQAM & Southampton): BIBLIOGRAPHY ON OA IMPACT ADVANTAGE: BOAI Self-Archiving FAQ: CITEBASE (scientometric engine): EPRINTS: OA ARCHIVANGELISM: ROAR (Registry of OA Repositories): ROARMAP (Registry of OA Repository Mandates): ROMEO/EPRINTS (Directory of Journal Policies on author OA Self-Archiving): U Minho 15 December 2008